FINRA Arbitration

FINRA brokercheck

Violation Tracker Memo as of April 2018

Even with the 2008-2009 financial crisis in the rear-view mirror, some of the most trusted names in the financial services industry have paid substantial fines and penalties since 2010. and FINRA Brokercheck websites provide the following examples: Bank of America According to the Violation Tracker website (, penalty and fines (since 2010) for Bank …

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jp morgan investment loss

JP Morgan Investment Loss?

JP Morgan recently reported financial earnings, and it seems like a distant memory that in December 2015, JP Morgan paid a $267 million fine to the SEC. The SEC Press Release refers to improper disclosures to customers as well as improper efforts by employees of JP Morgan to steer customer investments into proprietary mutual funds and …

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FINRA Arbitration Lawyer

FINRA Arbitration Lawyer: Recover Your Losses

At Haselkorn & Thibaut, P.A., our experienced FINRA Arbitration lawyers help victims of investment fraud and financial advisor malpractice recover their investment losses. The securities industry laws are complex, involving state and federal regulations, firm-specific policies, and various industry standards. Our lawyers not only have extensive experience as former licensed financial advisors, former defense attorneys …

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